SFC Licences of WHALE Patrick Xavier

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司
RE 7 19 October 2021 03 December 2021
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司
RE 1 05 October 2021 03 December 2021
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司
RE 1, 2 05 October 2021 03 December 2021
J.P. Morgan Broking (Hong Kong) Limited
RE 1, 2, 4, 5 10 June 2019 28 May 2021
Marshall Wace Asia Limited
RE 1, 9 17 June 2015 28 October 2016
Merrill Lynch Far East Limited
RE 7 20 August 2013 01 April 2014
Merrill Lynch Far East Limited
RE 1, 2 14 December 2012 01 April 2014
Merrill Lynch (Asia Pacific) Limited
RE 1 14 December 2012 01 April 2014
Merrill Lynch (Asia Pacific) Limited
RE 7 14 December 2012 23 September 2013
CLSA Limited 中信里昂證券有限公司
RE 1 10 September 2008 10 November 2009